Service Definition - HR and Payroll Solutions

Service Definition - HR and Payroll Solutions Central Government RM1557 Date issued: 19/12/11 HR & EMPLOYEE SERVICES CASE MANAGEMENT EDRM & DOCUMENT MANAGEMENT FINANCE & ACCOUNTS PARTNERSHIP THROUGH INSIGHT, INTEGRITY AND INNOVATION

CONTENTS 1. Overview... 4 1.1. HR and Payroll Solutions... 4 1.2. Supporting Infrastructure... 5 1.3. Public and Private Options... 6 1.4. Additional Environments... 6 2. Information Assurance... 7 3. Business Continuity... 8 4. On- & Off-Boarding... 9 4.1. On-boarding Process - Online HR Software... 9 4.2. On-boarding Process - Online Payroll Software... 9 4.3. On-boarding Process - Online Integrated HR and payroll software... 9 4.4. On-boarding Process - Online HR Transactional Services... 9 4.5. On-boarding Process - Online Payroll Services... 10 4.6. Off-boarding Process - Private/Public Online HR Solutions... 10 5. Pricing... 11 5.1. Public Cloud Service Pricing - HR Solutions... 11 5.2. Private Cloud Service Pricing - HR Solutions... 12 5.3. Day Rates... 12 5.4. Volume Discounts... 13 5.5. Data Extraction... 13 6. Service Management... 14 6.1. Introduction... 14 6.2. Constraints... 14 6.2.1. Maintenance Windows... 14 6.2.2. Permitted Customisation... 14 6.2.3. Product Schedules... 15 6.3. Service Levels... 15 6.3.1. Performance... 15 6.3.2. Availability... 15 6.3.3. Support Service... 15 6.3.4. Service Credits... 17 7. Training... 18 8. Ordering & Invoicing Process... 19 2

8.1. Ordering Process... 19 8.2. Invoicing Process... 19 9. Termination Terms... 20 9.1. By Consumers... 20 9.2. By the Supplier... 20 10. Consumer Responsibilities... 21 10.1. General Obligations... 21 10.2. Consumer's Information... 21 10.3. Implementation... 21 10.4. Training... 21 10.5. Service Desk Support... 21 11. Technical Requirements... 22 11.1. Bandwidth Requirements... 22 12. Trial Service... 23 3

1. OVERVIEW 1.1. HR and Payroll Solutions Equiniti ICS is proposing the following solutions to be provided as part of G-Cloud: 1. Integrated payroll and HR software 2. Payroll software 3. HR software 4. HR Transactional Services 5. Payroll Services The software solutions will be based on Equiniti ICS' Perito suite of software which provides all the functionality required for HR and payroll including: HR Management Recruitment Training Absence Payroll Expenses Time and Attendance erostering e-hr (self service) workflow report writing data analysis interfaces Solutions are suitable for organisations rather than individual access. Payroll services based on currently installed software solutions or on the Perito suite of software which can be accessed as part of the overall solution include: 1 Payroll bureau service - the client is responsible for data entry, payroll processing and provision of payroll expertise - Equiniti ICS generates the outputs (payslips, reports, interfaces, BACS process) and carries out year end processing as well as managing the software 2 Managed payroll service - roles for the payroll process are as agreed with the client but typically Equiniti ICS enters data, processes the payroll, generates the outputs and provides payroll expertise while the client filters employee queries and provides elements of payroll expertise 3 Fully managed payroll service - Equiniti ICS takes on all aspects of the payroll process including expertise and dealing with employee queries 4

HR Transactional services are based on currently installed software solutions or on the Perito suite of software with Equiniti ICS being responsible for the entry of HR information to the system which the client can then access for enquiry, management reporting etc. This includes but is not limited to: Starters and leavers Personal detail updates Absence data 1.2. Supporting Infrastructure The Equiniti ICS Online HR and Payroll Solutions is provided from its Belfast Data centre on HP rack mounted blade servers and storage solutions based on a mixture of HP EVA SANS and EMC storage technology. The communications infrastructure is based on Cisco switches and routers. A typical hosted schematic is as follows: Cloud Client Components Services Storage Requirements Citrix Access Gateway Citrix Access Gateway Email Filtering Web Browsing User Profiles Home Folders File Shares MPLS Citrix Server Farm Client Components MS Office Internet Explorer HR & Payroll Change Works Now Concept Evolution Business Intelligence Active Directory Services Anti-Virus Service URL Filtering Windows Software Update Service Backup Schedules System Monitoring Network & Security Management SQL Reporting Services (Sharepoint) SQL Server 2008 Application DB HR & Payroll DB Exchange Mailboxes Equiniti ICS provides the following support services: Server monitoring & administration Data storage & backup Data archiving Email services & email archiving Network Security Disaster recovery Provision of Data & Voice lines User Help Desk & UAR administration 5

Equiniti ICS complies with ITIL standards for Service Level Support. As standard, Equiniti ICS will appoint a Service Manager who will be responsible for managing and monitoring the service provided. The Service Manager is responsible for reviewing the performance of the service on a monthly basis to ensure that the service requirements are being met efficiently by the Equiniti ICS team. Reporting will cover: incident reporting, security breaches, requests for change, patches, cycles of upgrades, hardware replacement, Microsoft service pack roll out, mail box size etc. In addition to this a monthly report can be provided detailing the month s activities. This will provide the client with early performance indicators as to how the service is being utilised and how Equiniti ICS is performing against the stated SLA s. This report will provide the following summary information: Open calls status Closed calls root cause Planned downtime Requested downtime Virus report Backup and restore verification Storage information System alerts 1.3. Public and Private Options Equiniti ICS provide two implementation options for the on-line HR Service The Public on-line Service provides access to a multi-tenanted HR implementation shared among different organisations The Private on-line service provides a dedicated HR implementation for a single organisation All data will be hosted in Data Centres located in the UK. 1.4. Additional Environments Equiniti ICS provides a single "production" on-line HR environment as part of the standard Cloud Service costing. Additional environments can be provided for testing, support and training purposes, these will incur additional costs. 6

2. INFORMATION ASSURANCE The Equiniti ICS Data Centre and associated hosting services are accredited to ISO/IEC 27001:2005. The ISO 27001 accreditation ensures Equiniti ICS maintains and continually reviews all Security Management Systems and Plans and also carries out regular risk assessments. The plans adhere to the security requirements for data classified at Business Impact Level 2 as standard. Equiniti ICS hosted systems are subject to 2 external audits per annum to maintain the ISO 27001 accreditation. Equiniti ICS will work with client appointed auditors and network penetration testers if required however advance notice is required to ensure these activities are scheduled. Equiniti ICS follows best practice security policy through all our hosted services solutions, using two different fully resilient firewalls implemented in a back to back configuration offering a high degree of protection. The firewall configurations consist of perimeter appliances configured as a high availability pair and the inner firewall is a clustered configuration. All network traffic, inbound or outbound, passes through the firewalls which are configured to allow only agreed addresses and protocols. The security of client systems is ensured by using VLAN technology which separates groups of virtual servers into logical networks and network traffic may only pass into or out of a VLAN if a specific firewall rule allows. A Web Application Firewall Appliance is deployed as an Application Delivery Platform, terminating and proxying all client requests irrespective whether these come across an MPLS, Internet or VPN connection. This device provides intelligent Load Balancing services as well as essential security capabilities including SSL acceleration and offload, network firewall services, Denial of Service protection, protocol security, cookie encryption, and application attack filtering. This appliance offers multiple authentication mechanisms for users connecting to the hosted services and is used to provide Single Sign-On if required. Single-Sign-On (SSO) technologies exist to provide seamless authentication to VDI, web or application servers once the identity of the user has been established. Because users enter their credentials only once rather than for each application, user productivity improves and there are fewer incidents of lost or forgotten credentials that result in costly support calls. Once a user is successfully authenticated and using the services, their network traffic is continually monitored using an Intrusion Detection System. The IDS deployed monitors all traffic for vulnerabilities and exploits providing detection and prevention at the network layer for application level attacks. We provide protection against Malware from both a network standpoint via an Intrusion Prevention System on the inner firewall cluster, application security exploit protection on the perimeter load balancer as well as on all servers on the network utilising System Centre Endpoint Protection 2012. This covers not only anti-virus but extends to cover spam, phishing and functions as a host intrusion prevention product. Equiniti ICS currently hosts services for a range of public and private sector clients including some systems where data is marked as Restricted. We have been accredited to IL3 for some client systems and can offer this to Private Cloud clients. The requirements for IL3 will require individual discussion. 7

3. BUSINESS CONTINUITY Equiniti ICS Cloud Services include backup and recovery procedures to ensure system availability and data retention in the event of a system failure or disaster occurring. The hosting service is provided from a main data centre and a backup DR facility located 6 miles away Equipment utilised for the hosting infrastructure includes fault tolerant and high availability options: Dual fans Dual network cards linked to different switches Dual power supplies Dual port fibre channel cards to provide multiple fibre paths to the pair of HP EVA SANS A minimum of RAID 1 for all disks The database tier facilitates additional resilience by utilising the HP EVA SANs providing real time replication services between the 2 datacentres. The EVA4000 Storage Array is a fully redundant solution providing maximum uptime. By leveraging the high availability and fault tolerant capabilities of the servers and storage components, the provisioning of standby servers along with load balanced Citrix Servers; an extremely efficient and reliable environment is achieved. The network and security components are designed with both resilience and security in mind. The datacentres are linked with multiple fibres and GB speed is available throughout the hosting environment. The security of systems is ensured by using VLAN (Virtual Local Area Network) technology which separates groups of servers into logical networks. It is essential when offering a DR solution that the processes and procedures are tested regularly. Equiniti ICS can carry out a trial run on an annual basis at a date and time agreed with the customer, who is invited to execute its own DR test plans to confirm the integrity and availability of the data. Equiniti ICS continually invests in improving its infrastructure and managed service capability and public sector offering and we carry out regular technology reviews to keep our systems up to date. Equiniti ICS can move the service from its main datacentre to the DR datacentre in the event DR is invoked. This can be provided to ensure service is available again within 48 hours. 8

4. ON- & OFF-BOARDING 4.1. On-boarding Process - Online HR Software Client completes standard registration/order form Client completes HR Definition Document SLA / service documentation signed off by client Supplier sets up HR software Client provides file containing employee details for loading Supplier uploads client file and tests solution Standard HR configuration is provided to client, normally within 5 working days Client carries out user acceptance testing If further configuration is required then a specification will be agreed along with costs and implementation plan for this work 4.2. On-boarding Process - Online Payroll Software Client completes standard registration/order form Client completes Payroll Definition Document SLA / service documentation signed off by client Supplier sets up payroll software Client provides file containing employee details for loading Supplier uploads client file and tests solution Standard payroll configuration is provided to client normally within 15 working days Client carries out user acceptance testing If further configuration is required then a specification will be agreed along with costs and implementation plan for this work 4.3. On-boarding Process - Online Integrated HR and payroll software Procedures set out in 4.1 and 4.2 are followed with aggregation of procedures where appropriate reflecting the solution required by the client. 4.4. On-boarding Process - Online HR Transactional Services Client completes standard registration/order form Client completes HR Definition Document SLA / service documentation signed off by client Supplier sets up HR software Client provides file containing employee details for loading Supplier uploads client file and tests solution Standard HR configuration is provided to client, normally within 5 working days Supplier / client carry out user acceptance testing If further configuration is required then a specification will be agreed along with costs and implementation plan for this work 9

4.5. On-boarding Process - Online Payroll Services Client completes standard registration/order form Client completes Payroll Definition Document SLA / service documentation signed off by client Supplier sets up payroll software Client provides file containing employee details for loading Supplier uploads client file and tests solution Standard payroll configuration is provided to client normally within 15 working days Supplier / client carry out a parallel run / user acceptance testing If further configuration is required then a specification will be agreed along with costs and implementation plan for this work 4.6. Off-boarding Process - Private/Public Online HR Solutions Clients must provide 3 months' notice of termination and complete service termination form An exit plan will be agreed including data extract arrangements. Data can be extracted in.csv,.xml or.xls format Data volumes over 1000 will require individual extraction plan including agreement on extract media After contract termination, all live client data will be deleted. All customer specific backup tapes will be destroyed. Client data for payroll will still be held on shared system backup tapes. If clients require to have individual backup tapes and not be part of the shared backup this must be notified at time of ordering. There is an additional charge for providing individual backup services. 10

5. PRICING 5.1. Public Cloud Service Pricing - HR Solutions Ref Service Set up Service Charge per month 1. Integrated payroll and HR software 2. Payroll software 6,500 plus 750 5,000 plus 500 1,000 plus 100 750 plus 75 per 100 3. HR software 1,500 plus 250 500 plus 50 per 100 4. HR Transactional Services 5. Payroll Services 1,500 plus 250 5,000 plus 250 500 per month plus 150 500-1,500 per month plus 1.00-3.50 per employee dependant on service level Standard service charge covers up to 1000. Discounts (on application) will be provided larger employee populations. Backup provided at system level covering all tenants as standard. Individual customer backups can be provided at additional cost. 11

5.2. Private Cloud Service Pricing - HR Solutions Ref Service Set up Service Charge per month 1. Integrated payroll and HR software 2. Payroll software 6,500 plus 750 5,000 plus 500 1,000 plus 100 750 plus 75 per 100 3. HR software 1,500 plus 250 500 plus 50 per 100 4. HR Transactional Services 5. Payroll Services 1,500 plus 250 5,000 plus 250 500 per month plus 150 500-1,500 per month plus 1.00-3.50 per employee dependant on service level Standard service charge covers up to 1000. Discounts (on application) will be provided larger employee populations. Backup provided at system level covering all tenants as standard. Individual customer backups can be provided at additional cost. 5.3. Day Rates Staff Level Type Standard Day Rate Project Manager 850 Programmer/Analyst 850 12

Consultancy 900 Training (up to 6 delegates) 850 5.4. Volume Discounts Volume discounts available for employee numbers over 1000. Price provided on application. 5.5. Data Extraction Standard charge to provide data extract of volumes up to 1000 is 1,000 including media cost. The extract will be provided using standard Perito routines to.csv,.xml or.xls format. Volumes over 1000 will require agreement on extract media and format and will be individually costed. 13

6. SERVICE MANAGEMENT 6.1. Introduction Equiniti ICS provides Service Management arrangements based on ITIL principles, complying with defined standard service levels including support response times, defect resolution, maintenance updates, system upgrades, and change controls. The customer will receive full maintenance for the overall solution which may include software and database updates, fixes and support for any new functionality that has been developed specifically for the customer. The on-line HR solution will be configured to meet an agreed functional requirements specification. After the functional specification is agreed, the solution can only be modified through a formal Change Control procedure. This ensures that ongoing development of the system will be fully controlled. We have a full complement of support staff to manage the systems and availability of the cloud services, with the Availability Management team providing 24x7 cover for our datacentre to manage incidents arising and alerts raised by the system management tools. The system tools adopted allow the System Manager to monitor the performance and availability of individual components of the system. Any alerts requiring escalation are passed to technical experts in the appropriate areas. The Equiniti ICS support service is both proactive and reactive, taking the lead on preventative measures by utilising the latest analytical tools such as HP SIM and Advent OpManager for critical components such as the servers and network switches. OpManager is a powerful fault and performance management tool for the network, which performs system health checks and trigger alerts in the event of an error occurring or systems operating outside of predetermined thresholds. The tool provides warnings and threshold exceptions for a wide range of issues such as environmental conditions, hard drive SMART warnings, and other predictive errors as well as actual failures. 6.2. Constraints Service constraints (e.g. maintenance windows, level of customisation permitted, schedule for deprecation of functionality/features etc.) 6.2.1. Maintenance Windows Equiniti ICS will perform updates on a pre-published schedule, normally outside of standard working hours. Customers will be given at least two weeks' notice where possible of scheduled maintenance tasks. 6.2.2. Permitted Customisation Equiniti ICS can provide customisation services for the Perito HR and Payroll application. These services are subject to additional charges based on the published rate card. The on-line HR solution will be configured to meet an agreed functional requirements specification with each customer. After the functional specification is agreed, the solution 14

can only be modified through a formal Change Control procedure. This ensures that ongoing development of the system will be fully controlled. 6.2.3. Product Schedules The Payroll software is kept up to date with relevant Government legislation. 6.3. Service Levels 6.3.1. Performance Response time for accessing screens of the HR and Payroll systems should be within 3 seconds (at a minimum) 99% of the time Response time for simple searches for information and displaying results within the system should be within 5 seconds 95% of the time Response times exclude network latency. 6.3.2. Availability Standard system availability of the online-hr service is 99.5%. 6.3.3. Support Service 6.3.3.1. Support Summary Equiniti ICS proves a single contact point for all problems including advice on all aspects of the solution be it on the hardware or software side. This is provided through a Help Desk that is available as a standard service from 09:00 to 17:30, Monday to Friday. Additional support, including cover for weekends, evenings, bank/public holidays, and 24x7 on call support, can be arranged on a short- or long-term basis if necessary and we would be pleased to discuss this further with customers. Response times vary according to Service Level Agreements (to be formally agreed with Confidential on award of contract); our standard response time for a medium priority call is 4 hours. Exact levels of support/response times need to be agreed with the customer and we welcome further discussion on this. Customers must provide a Service Manager as a single liaison point for co-ordination of support issues. 6.3.3.2. Call Logging The primary means of logging all calls, incidents and queries is via the Equiniti ICS Call Service Desk using the following e-mail address: ISDSupport@Equiniti-ICS.com. The secondary means of contact to the Equiniti ICS Service Desk is via the following telephone number: 028 9045 4166. Calls may also be logged on the Equiniti ICS Call Handling web interface via the following web link: https://www.isd.equiniti-ics.com/isdsupport Support and maintenance calls are recorded by support receptionists allocated to a Service Desk. The Service Desk will record all support calls on the Call Monitor system detailing: 15

Date and Time of Call Receipt Client Code and Contact Nature of Call Call Priority The Call Monitor system assigns a Call ID (a unique reference number) to the call, and the Service Desk will inform the caller of this number. The call details are then passed to the most appropriate functional/technical person to be resolved, and the progress of the support call monitored with the assistance of the Call Monitor application to ensure a prompt follow-up. The technician will progress the call through to resolution and will involve other support resources, including 3rd party organisations, as appropriate. Calls will only be closed when the client is content that the call has been resolved to its satisfaction. The client has the right to escalate calls of particular urgency; escalation procedures exist to ensure that all required resources are assigned to a critical problem. 6.3.3.3. Response Times Standard Equiniti ICS support and maintenance agreements provide guaranteed acknowledgement and targeted resolution of issues within the agreed service level. See below for the standard SLA. Priority Response Time Incident Description Target Fix Time 1 - Critical 1 hr Critical business impact for example: Entire System is unavailable e.g. client unable to access the online HR system 2 - High 2 hours Major business impact for example: An important component of the System is unavailable 3 - Medium 4 hours Medium business impact for example: A component of the System is subject to fault but a workaround exists 4 - Low 8 hours Minor business impact including: functionality problems of a cosmetic nature; or Request for advice or guidance. Within 1 Working Day (with a workaround within 4 hours) Within 2 Working Days *Fixed for Release within 10 working Days As agreed 6.3.3.4. Problem Management If, in the resolution of any incident, an underlying issue is detected that may lead to further re-occurrences of the same incident, Equiniti ICS may record a problem call that will be progressed and monitored as any other call in the system. The client will be kept informed of such calls. 16

6.3.4. Service Credits The standard online-hr service does not include provision of service credits for failure to meet the standard service levels. An enhanced service including service credit provision can be provided at additional cost, tailored to specific customer requirements 17

7. TRAINING Training is available through: 1. on-line tutorials 2. one-to-one training charged by the hour 3. training courses carried out on-site and charged at the appropriate day rates 18

8. ORDERING & INVOICING PROCESS 8.1. Ordering Process Clients must complete standard registration/order form, provided on-line, this includes: o Client Details o Online HR System Name (by default the Client name) o Number of Users Required o Number of to be held o Specification of Customisations Required (If applicable) o Specification of any specific communications requirements Equiniti ICS will provide order confirmation form including detailed cost breakdown Customer must confirm acceptance of order confirmation and associated terms and conditions 8.2. Invoicing Process Clients will be invoiced on a monthly basis Payment must be made within 30 days using bank transfer to the Equiniti ICS banking details provided 19

9. TERMINATION TERMS 9.1. By Consumers Consumers must give three months notice of termination 9.2. By the Supplier Equiniti ICS will provide 1 years notice of a Cloud Service being withdrawn 20

10. CONSUMER RESPONSIBILITIES 10.1. General Obligations The Consumer shall be responsible for providing all agreed information and data to enable Equiniti ICS to perform its obligations under this Agreement. The Consumer shall provide Equiniti ICS with reasonable access to appropriate members of the Consumer s staff, as may reasonably be required, after reasonable notice having been given by Equiniti ICS, so that Equiniti ICS can discharge its obligations under this Agreement. The Consumer shall provide suitably qualified staff to fulfil the Consumer s roles and duties under this Agreement. The Consumer shall comply with any obligations placed on it in the Security Policy. 10.2. Consumer's Information The Consumer shall respond and/or provide such documentation, data and/or other information that is within its immediate control, that Equiniti ICS reasonably requests that is necessary for the Equiniti ICS s performance of its obligations under this Agreement. The Consumer shall, throughout the Term, provide to Equiniti ICS timely notification of Consumer policy and/or regulation changes which impact on the provision of the Services. 10.3. Implementation The Consumer shall make best endeavours to perform those obligations specified in any agreed implementation plan. 10.4. Training The Consumer shall ensure that all staff using the service are given appropriate training. 10.5. Service Desk Support The Consumer shall provide a Helpdesk which shall: be available to all Consumer staff to report queries, incidents and problems with the Service. If the Consumer's Helpdesk is unable to resolve these, it will report them to Equiniti ICS s Service Desk for attention or resolution. provide assistance and guidance on the use of the Services to Consumer staff. 21

11. TECHNICAL REQUIREMENTS As a guide the system will typically be able to be used on standard computer hardware available for the past five years. Windows X86 or x64 (Browsers must be in 32-bit mode) 1.6-gigahertz (GHz) or higher processor with 512-MB of RAM As the system will be accessed via a web-browser, no RMS software needs to be installed, allowing users of standard operating systems to access the system, as long as they have an Internet connection and a supported web browser. The browsers officially supported by RMS are: Internet Explorer 7 and above (32-bit & 64-bit) Mozilla Firefox 3.6 and above Safari 4.04 and above Note that other browsers, whilst not officially supported, may display RMS with little or no issue. In order to view and edit Supporting Information documents the user must have the host software installed e.g. Microsoft Word, Microsoft Excel, and Adobe Reader. 11.1. Bandwidth Requirements As with any browser based system, the greater the bandwidth that the end user has available the faster their connection will be to the hosted server side application. The time required to upload/download documents will be dependent on the document size and the speed of the internet connection. 22

12. TRIAL SERVICE Equiniti ICS provide a 3-month Online-HR trial service covering up to 5 users. There is a one-off 750 setup charge for this trial service, deductable from the full service setup charge if this proceeds within 12 months of the trial. 23